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Results: 1-10 of 21,574

Regulation of Fintech in Canada
  • Dentons
  • Canada, USA
  • April 20 2017

This article provides Fintech startups and investors with an overview of the regulatory framework that applies to the Fintech industry and the issues


FINRA Releases Revisions to Its Sanction Guidelines
  • Buckley Sandler LLP
  • USA
  • April 20 2017

On April 10, FINRA issued a notice revising its Sanction Guidelines to reflect recent developments in its disciplinary process, revisions to certain


DOJ Reduces Brazilian Construction Company Penalty Based on Inability to Pay
  • Buckley Sandler LLP
  • USA
  • April 20 2017

On April 11, the DOJ filed a memorandum in its case against a Brazilian construction company, requesting that the Court approve a lower sentence than


UK Proposal for Register of Foreign Beneficial Ownership of Real Estate Continues Global Trend Toward Transparency
  • Cadwalader Wickersham & Taft LLP
  • Global, United Kingdom, USA
  • April 20 2017

On 5 April 2017, the UK Department for Business, Energy & Industrial Strategy (the “Department”) issued a call for evidence (the “proposal”) for a


NY State AG Targets Private Equity for Tax Related FCA Violations
  • Crowell & Moring LLP
  • USA
  • April 20 2017

On April 18, the New York Attorney General’s Office announced a $40 million settlement with a hedge fund under the state’s False Claims Act, arising


Western Union to Pay $586 Million in Restitution and Civil Penalties for AML Compliance Failure
  • Bradley Arant Boult Cummings LLP
  • USA
  • April 20 2017

On Jan. 19, Western Union Financial Services, Inc. agreed to pay civil penalties and restitution to victims of fraud totaling $586 million to resolve


Hand Vein Authentication Bolsters Sarbanes-Oxley Compliance
  • Baker McKenzie
  • USA
  • April 19 2017

Notorious frauds at many Global Fortune Companies highlight the importance of internal controls. In spite of the Sarbanes-Oxley Act of 2002 (SOX or


SEC Files Enforcement Actions Against Multiple Defendants In “Trolling-Type” Scheme To Generate False Publicity For Certain Issuers
  • Shearman & Sterling LLP
  • USA
  • April 18 2017

On April 10, 2017, the Securities and Exchange Commission (”SEC”) announced fourteen enforcement actions, charging 28 businesses and individuals in


Duke Gains Home Court Advantage in Relator’s Qui Tam Action
  • Dinsmore & Shohl LLP
  • USA
  • April 18 2017

In United States ex rel. Thomas v. Duke University, Duke University and its co-defendants persuaded the United States District Court for the Western


Will the SEC’s More Restrictive Policy for Subpoena Approval Create a Bottleneck for Whistleblower Claims?
  • Katz Marshall & Banks LLP
  • USA
  • April 18 2017

On February 16, 2017, the U.S. Securities and Exchange Commission (SEC) announced an important policy change that reduces the number of SEC